DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

R••••••••• C•••••• A••••••• L••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 287884SEC 801-111740IAPD
Latest filing Apr 4, 2022
First filing on the tape Mar 8, 2017 · 17 filings
RAUM
$7.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$7.7M as of Apr 4, 2022
Jun 29, 2018$80,000 then
HNW client RAUM: $50,000
State-registered IARs (5.B.3)0 as of Apr 4, 2022
Jun 29, 20181 then
Employees (5.A)3 as of Apr 4, 2022
Jun 29, 20181 then
Private funds: no history
RAUM +176% over the last fiscal year+128% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 4, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$7.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+176%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companies, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$7.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• J••••••• B•••• · Managercontrol
        since 02/2019 · owns less than 5%
      • G•••••• H••••• J•••• · President, Ceo And Managercontrol
        since 07/2020 · owns less than 5%
      • R••••• W•••••• A••••• · Managing Director And Managercontrol
        since 04/2020 · owns less than 5%
      • W••• Y••••••• •• M••••• N•••• · Ownercontrol
        since 10/2018 · owns 75% or more of M••••••••• G•••• L•••
      • C••••••• C••••••• N••••• · Chief Compliance Officer
        since 05/2020 · owns less than 5%
      Entity owners
      • N•••• C••••••• I••• · Owner, Managing Member
        direct · owns 75% or more
      • F•••••• H•••••••• L•• · Owner
        indirect · owns 75% or more of N•••• C••••••• I•••
      • M••••••••• G•••• L••• · Owner
        indirect · owns 75% or more of F•••••• H•••••••• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $2.8M to $7.7M
        Oct 1, 2021 to Apr 4, 2022
      • RAUM · $2.8M to $7.7M
        Oct 1, 2021 to Apr 4, 2022
      • Business name · W••••••• A•••• M••••••••• L•• to R••••••••• C•••••• A••••••• L••
        Jul 2, 2021 to Sep 28, 2021
      • Legal name · W••••••• A•••• M••••••••• L•• to R••••••••• C•••••• A••••••• L••
        Jul 2, 2021 to Sep 28, 2021
      • Employees · 2 to 3
        Dec 17, 2020 to Mar 30, 2021
      • Discretionary RAUM · $6.2M to $2.8M
        Dec 17, 2020 to Mar 30, 2021
      • RAUM · $6.2M to $2.8M
        Dec 17, 2020 to Mar 30, 2021
      • Accounts · 2 to 1
        Dec 9, 2019 to Sep 9, 2020
      • Advisory activities · 3 to 2
        Dec 9, 2019 to Sep 9, 2020
      • HNW clients · 1.0 to unset
        Dec 9, 2019 to Sep 9, 2020
      • Employees · 3 to 2
        Dec 9, 2019 to Sep 9, 2020
      • HQ city · PAOLI to PHILADELPHIA
        Dec 9, 2019 to Sep 9, 2020
      • State-registered IARs · 1 to 0
        Dec 9, 2019 to Sep 9, 2020
      • Discretionary RAUM · $650,000 to $6.2M
        Dec 9, 2019 to Sep 9, 2020
      • HNW RAUM · 50000.0 to unset
        Dec 9, 2019 to Sep 9, 2020
      • RAUM · $650,000 to $6.2M
        Dec 9, 2019 to Sep 9, 2020
      • Accounts · 1 to 2
        Mar 17, 2019 to Mar 24, 2019
      • Advisory activities · 1 to 3
        Mar 17, 2019 to Mar 24, 2019
      • HNW clients · unset to 1.0
        Mar 17, 2019 to Mar 24, 2019
      • Individual clients · 1.0 to unset
        Mar 17, 2019 to Mar 24, 2019
      • Employees · 1 to 3
        Mar 17, 2019 to Mar 24, 2019
      • Other offices · 1 to 0
        Mar 17, 2019 to Mar 24, 2019
      • Discretionary RAUM · $0 to $650,000
        Mar 17, 2019 to Mar 24, 2019
      • HNW RAUM · unset to 50000.0
        Mar 17, 2019 to Mar 24, 2019
      • Individual RAUM · 80000.0 to unset
        Mar 17, 2019 to Mar 24, 2019
      • Non-discretionary RAUM · $80,000 to $0
        Mar 17, 2019 to Mar 24, 2019
      • RAUM · $80,000 to $650,000
        Mar 17, 2019 to Mar 24, 2019
      • Individual clients · unset to 1.0
        Jun 29, 2018 to Jul 19, 2018
      • Accounts · unset to 1.0
        Aug 24, 2017 to Jun 29, 2018
      • Advisory employees · 2 to 1
        Aug 24, 2017 to Jun 29, 2018
      • Employees · 2 to 1
        Aug 24, 2017 to Jun 29, 2018
      • Other offices · unset to 1.0
        Aug 24, 2017 to Jun 29, 2018
      • Discretionary RAUM · unset to 0.0
        Aug 24, 2017 to Jun 29, 2018
      • Individual RAUM · unset to 80000.0
        Aug 24, 2017 to Jun 29, 2018
      • Non-discretionary RAUM · unset to 80000.0
        Aug 24, 2017 to Jun 29, 2018
      • RAUM · unset to 80000.0
        Aug 24, 2017 to Jun 29, 2018
      Signals
      11 dated events
      • Edward Charles Shearer (Director) no longer on Schedule A of R••••••••• C•••••• A••••••• L•• (listed 2020-12-17, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Yingmao Wei (Owner) appeared on Schedule A of R••••••••• C•••••• A••••••• L••
        Sep 9, 2020 · Control person joined · fact
      • Joseph Dominic Catrambone (Chief Compliance Officer) no longer on Schedule A of R••••••••• C•••••• A••••••• L•• (listed 2019-12-09, absent 2020-09-09)
        Sep 9, 2020 · Control person left · inference
      • D•••• Y••••••• (Member) no longer on Schedule A of R••••••••• C•••••• A••••••• L•• (listed 2019-12-09, absent 2020-09-09)
        Sep 9, 2020 · Control person left · inference
      • James Harry Gobora (President And Ceo) appeared on Schedule A of R••••••••• C•••••• A••••••• L••
        Sep 9, 2020 · Control person joined · fact
      • Nicole Caitlin Connell (Chief Compliance Officer) appeared on Schedule A of R••••••••• C•••••• A••••••• L••
        Sep 9, 2020 · Control person joined · fact
      • A. Warren Raiti (Director) appeared on Schedule A of R••••••••• C•••••• A••••••• L••
        Sep 9, 2020 · Control person joined · fact
      • Blake Jourdan Frain (Director) appeared on Schedule A of R••••••••• C•••••• A••••••• L••
        Sep 9, 2020 · Control person joined · fact
      • Edward Charles Shearer (Director) appeared on Schedule A of R••••••••• C•••••• A••••••• L••
        Sep 9, 2020 · Control person joined · fact
      • D•••• Y••••••• (Member) appeared on Schedule A of R••••••••• C•••••• A••••••• L••
        Dec 9, 2019 · Control person joined · fact
      • W••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 8, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026